Fundraising Ethics_4_HR

Ethics Training for NRCS Liaisons Fundraising July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 1 Ethics Training for NRCS Liaisons Fundraising FUNDRAISING USDA employees can and do engage in fundraising activities. This module reviews the do’s and don’ts of fundraising, both on and off the job. First, some definitions so we will all be clear what is meant July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 2 Ethics Training for NRCS Liaisons Fundraising Fundraising, for our purposes here, is basically… Raising funds for a nonprofit organization, other than a political organization through: the solicitation of funds or sale of items, or… employee official participation in the conduct of an event where any portion of the cost of attendance or participation may be taken as a charitable tax deduction by a person incurring that cost. (1) (2) July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 3 Ethics Training for NRCS Liaisons Fundraising “Active and visible participation in the promotion, production, or presentation of the event” includes:  serving as honorary chairperson;  sitting at the head table; and  standing in a reception line. It does not necessarily include:  mere attendance provided the employee’s attendance is not used to promote the event.  giving an official speech at a non-profit fundraiser. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 4 Ethics Training for NRCS Liaisons Fundraising “Active and visible participation in the promotion, production, or presentation of the event” does not include: A Non-Monetary Charity Drive in which solicitation for the drive is limited to the pursuit of “in-kind” items toys, clothing, food, or household items. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 5 Ethics Training for NRCS Liaisons Fundraising Prohibited Source means… Any person, company, or organization that: Is seeking official action from USDA. or seeks to do business with USDA. operations regulated by USDA. Has Conducts Seeks Has Is to influence USDA’s policies or regulations. interests that may be affected by your official duties. an organization, a majority of whose members are prohibited sources. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 6 Ethics Training for NRCS Liaisons Fundraising Proscribed Political Fundraising is… Soliciting, accepting or receiving a campaign contribution for partisan political purposes from any person or organization.* * There is a narrow exception for union members to solicit other union members for the Union Political Action Committee (PAC) provided the persons solicited are not subordinates. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 7 Ethics Training for NRCS Liaisons Fundraising • Official Fundraising Now that we have definitions, let’s • Personal Fundraising look at three types • Political Fundraising of fundraising… July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 8 Ethics Training for NRCS Liaisons Fundraising Official Fundraising — Fundraising that is specifically authorized by statute, regulation, or Executive Order. In these instances you may use, Federal time, Federal resources, or your official title. Fundraising on your own time, not using Federal resources, and not acting in a Federal capacity. Fundraising either on or off the job for a political campaign. Personal Fundraising — Political Fundraising — July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 9 Ethics Training for NRCS Liaisons Fundraising Official Fundraising You may not engage in official fundraising* outside the... Combined Federal Campaign [*Absent statute, Executive Order, regulation, or OPM approval (5 CFR Part 950)] July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 10 Ethics Training for NRCS Liaisons Fundraising Official Fundraising - Authorized Exclusions • Emergencies & Disasters with OPM approval hurricanes, tornadoes, floods, volcanic eruptions, landslides, fires, explosions, and other catastrophic events. • Solicitation of Employees for the Benefit of Employees through agency approved employee organizations Employee solicitation conducted by employee organizations among their own members for organizational support or for the benefit of welfare funds for their members. • Fundraising in support of Child Care Centers located at Federal installations Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 11 July 19, 2005 Ethics Training for NRCS Liaisons Fundraising Official Fundraising - Authorized Exclusions When official fundraising is authorized, you may use your: official title, position, and authority. You may also use official time and resources including: supplies, computers, telephones, faxes, mail, and vehicles. But there are three caveats July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 12 Ethics Training for NRCS Liaisons Fundraising Official Fundraising (cont.) But… there are three caveats: Only seek funds from employees. Never solicit non-Federal entities. employees’ right to decline to participate. Respect Don’t hold a fundraiser during the Fall (CFC is underway) July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 13 Ethics Training for NRCS Liaisons Fundraising Official Speeches at Non-Profit Fundraisers An employee may be approved to present an official speech at a nonprofit fundraising event on a subject related to official duties. It is okay provided: 1. The event is determined to be an appropriate forum for the dissemination of the information presented and as long as the employee doesn’t request donations or other support for the organization. The event sponsor does not use the employee’s attendance as a draw or to imply official endorsement of the organization. The employees name and title should not be on the invitation to the event, but it is okay to list the employee as a speaker on the program handed out at the event. 2. Contact your servicing ethics advisor prior to accepting the invitation. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 14 Ethics Training for NRCS Liaisons Fundraising End of Summary on Official Fundraising… Now on to we can do in our personal capacity! July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 15 Ethics Training for NRCS Liaisons Fundraising Personal Fundraising Fundraising in your personal capacity is okay provided you don’t: Personally solicit funds from a prohibited source or from a subordinate employee; Use government time or resources; or Use or permit the use of your official title, position or authority except when ordinarily addressed using terms such as "The Honorable." July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 16 Ethics Training for NRCS Liaisons Fundraising Personal Fundraising – and Special Government Employees A Special Note: SGE’s may fundraise as may any other private citizen (for any political or charitable cause) when not fulfilling your part-time Federal responsibilities, provided you do not solicit persons who have an interest in what you do when you are wearing your Federal hat. SGE’s are employees on temporary appointments of no more than 130 days during any 365-day period. SGEs are often appointed to work for USDA as Collaborators, Experts, and Panel Members have more freedom to fundraise. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 17 Ethics Training for NRCS Liaisons Fundraising Fundraising for Gifts Between Employees This is in the realm of “personal activity” … the giving, donating to, or soliciting of contributions for office parties and gifts for employees. Conduct of this activity is fine as long as you follow the guidelines within 5 CFR 2635 Subpart C -- Gifts Between Employees. For more info, see the training module, on “Gifts Between Employees!” on the USDA Ethics Website. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 18 Ethics Training for NRCS Liaisons Fundraising Non-Monetary Charity Drives Although not a “fundraiser,” the personal or unofficial collection of non-monetary items such as toys, food, or clothing for charity should be mentioned here… We see boxes stationed in our hallways from time-to-time, and we help fill them. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 19 Ethics Training for NRCS Liaisons Fundraising Non-Monetary Charity Drives (Cont.) With management approval, you can set up collection boxes in the public part of a Federal building as long as you don’t:  Involve the exchange of money  Disrupt the workplace  Aggressively pursue donations from your fellow employees  Abuse the guidelines set out in the Standards of Ethical conduct at Subpart G – Misuse of Position Before setting out a box, talk to the building manager and make sure you understand all applicable GSA and agency regulations. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 20 Ethics Training for NRCS Liaisons Fundraising A Quick Word About… Political Fundraising – Don’t. No Federal employee may solicit, accept, or receive political contributions in either his or her official or unofficial capacity except under the narrow exception for Federal workers’ unions mentioned earlier. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 21 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned -- Scenario One You just hired Jimmy, a new computer specialist in your technical services branch. Jimmy’s a bright young fellow with a lot of enthusiasm. He also happens to belong to a long distance runner’s club, Run for Fun (RUFF). RUFF is sponsoring a fundraising marathon to raise money for the new cancer care wing at the local hospital. Jimmy plans to run in the marathon and asks you if he can solicit sponsors from among his fellow employees. He’d like to announce the marathon via inter office e-mail and use the office photocopier and fax to send out fliers. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 22 Ethics Training for NRCS Liaisons Fundraising As his supervisor, how do you respond? A Since it’s a great cause that will benefit the community, you give him full access to faxes, computers, and other resources. B You refuse his request explaining that the CFC was established as the sole fundraising event in the workplace. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 23 Ethics Training for NRCS Liaisons Fundraising As his supervisor, how do you respond? A Since it’s a great cause that will benefit the community, you give him full access to faxes, computers, and other resources. B You refuse his request explaining that the CFC was established as the sole fundraising event in the workplace. A is wrong. Although Jimmy is free to engage in this fundraiser on his own time, that’s not the case while on the job. Remember, the CFC is the only authorized fundraiser in the Federal workplace. If he were to obtain prior approval from OPM through his personnel office, he could proceed. B is correct! You refuse his request explaining that the CFC was established as the sole fundraising event in the workplace. You could also advise him that OPM does consider requests for official fundraising outside the yearly campaign. If he were to obtain prior approval from OPM through HRMD, he could proceed. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 24 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned -- Scenario Two A devastating hurricane struck the coast of North and South Carolina. Homes and businesses are totally destroyed. People are missing, and some are presumed dead. NRCS has employees located throughout the area hardest hit by the storm. Employees from around the country are eager to help those in need with donations of clothing, non-perishable foodstuffs, blankets, and household goods. Employees also want to donate cash to pay for the transportation of donated items and to pay for much needed medical supplies. You obtain your Agency Head’s approval for this initiative. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 25 Ethics Training for NRCS Liaisons Fundraising Is the Chief’s Approval all that is required to carry out this event? A. Yes B. No July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 26 Ethics Training for NRCS Liaisons Fundraising Is the Chief’s Approval all that is required to carry out this event? A. Yes B. No A is wrong. While approval for the collection of in-kind donations for disaster relief is appropriately pursued at the Secretary’s or concerned Agency Head’s level, only OPM may approve the collection of funds. B is correct. The authority to provide in-kind assistance for disaster relief is delegated to the Secretary and concerned Agency Heads. However, official fundraising outside the CFC requires prior approval from OPM. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 27 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned -- Scenario Three Brian, a high level manager at APHIS, calls you to find out if he may speak at a large fundraising event for the Humane Societies of the United States (HSUS). Lately, there have been several heartbreaking documentaries aired on TV and HSUS asked Brian to speak on policies and procedures for the humane treatment of pets. Monies collected from the event will be used to build larger facilities and to set up a training program for the public. The speech would be representative of the interests of APHIS. Since this is an evening affair, spouses are invited. As his Ethics Advisor, Brian asks if he and his spouse may attend. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 28 Ethics Training for NRCS Liaisons Fundraising Do you approve or disapprove of the activity? A. Approve. B. C. Approve, with certain restrictions. Disapprove. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 29 Ethics Training for NRCS Liaisons Fundraising Do you approve or disapprove of the activity? A. Approve. Wrong. Yes, he may attend in his official capacity and present on matters related to his official duties. However, to do so he must obtain the agency’s determination that the event provides an appropriate forum for his presentation. Brian must also avoid: requesting donations, serving as honorary chairperson, sitting at a head table during the event, and standing in a reception line. If his attendance is approved, the ethics office may also approve his spouse to attend under the gift exclusion for widely attended gatherings. B. Approve, with certain restrictions. Correct. C. Disapprove. Wrong. Too conservative. Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 30 July 19, 2005 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned – Scenario Four Your church is planning its annual bake sale and raffle to raise money to send needy children to summer camp. Since you’re a terrible baker you offer to solicit donations of items from local businesses. Your Federal job requires local purchasing and you plan to use your official list of local contacts with whom you’ve conducted business for NRCS. You recognize that you can’t use Federal resources or official time to contact these companies, so you plan to send out requests from your home computer after work. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 31 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned – Scenario Four Would your action comply with ethics regulations? A. Yes B. No. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 32 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned – Scenario Four Would your action comply with ethics regulations? A. Yes Wrong. Even on your own time using your own resources, your personal solicitation of prohibited sources is not authorized. Leave the personal solicitation of prohibited sources to a church member who isn’t a USDA employee. Or, limit your solicitations to those businesses excluded from the definition of a prohibited source. A. No. Correct. You must avoid personally soliciting anything from a prohibited source July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 33 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned – Scenario Four Let’s try a different angle. Suppose you belong to a recognized employee organization established to benefit USDA employees. Can you solicit prohibited sources in this instance? A. Yes. B. No. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 34 Ethics Training for NRCS Liaisons Fundraising Let’s See What We Learned – Scenario Four If you belong to a recognized employee organization established to benefit USDA employees, can you solicit a prohibited source? A. Yes. Wrong. As Federal employees we may not solicit prohibited sources, period B. No. Correct. July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 35 Guidance Regarding Liaisons Questions? July 19, 2005 Adapted for NRCS from the USDA/OE Fundraising Training Module Slide 36